What are the responsibilities and job description for the Senior Manager, Risk Supervision Officer position at Charles Schwab Inc.?
Your Opportunity
At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.
Join Schwab’s Retail Supervision and Risk Management (RSRM) team, where you’ll play a pivotal role in driving the firm’s supervisory support and risk management initiatives. As a Risk and Supervision Officer (RSO), you will be a trusted advisor to business leadership, working independently to identify, mitigate, and manage supervisory issues. Your role involves building and maintaining strong relationships with senior leaders and colleagues across the organization, ensuring that our risk management practices are both effective and aligned with business goals. You will be responsible for developing and implementing policies and procedures, providing coaching and guidance, and handling day-to-day issues with a focus on ethics, regulatory compliance, and business growth. If you are a thought leader with a passion for innovation and a commitment to excellence, this role offers a unique opportunity to make a significant impact at Schwab.
This is an Individual Contributor role with no Direct Reports and the role reports directly to a People Leader and/or Director, Retail Supervision and Risk Management.
What you have
Required Qualifications
- Active and valid Series 7
- Active and valid Series 9/10 (8) or 24/4/53
- Minimum of 5 years of supervisory, control, risk management or compliance experience
- Strong working knowledge of industry standard and regulatory policies and procedures for the suite of investment options available to the self-directed client population
Preferred Qualifications
- Ability to influence others through the development of strong working relationships and the use of effective communication skills
- Outstanding time management and organizational skills
- Ability to operate in a fast-paced environment and must have the ability to both make decisions based on sound business judgment with information at hand while quickly adapting to new circumstances presented
- Proven supervision and oversight skills displaying a record of operating at both strategic and tactical levels
- Interest in creating change through process improvements, training and streamlining functions
- Ability to be an initiative-taker and work independently
- Ability to adapt to changing business conditions
- Ability to manage multiple projects in a fast paced, team environment
- Ability to work strategically with business partners in various departments such as legal, compliance and risk
- Demonstrated ability to prioritize business needs
- Active and valid Series 4
- Active and valid Series 3
- Active and valid Series 34
- Active and valid Series 66
